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Ralph R. Vonlutzow

Some features on this profile are disabled
CRD#: 455680
RV

Professional summary

Ralph Richard Vonlutzow was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ralph is a previously registered financial professional and started their career in finance in 1965. Prior to being barred, Ralph had worked at 9 firms, which includes OBERWEIS SECURITIES INC., ROSENTHAL COLLINS SECURITIES L.L.C, MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, DEAN WITTER & CO. INCORPORATED, MCCORMICK & CO. INCORPORATED, E. F. HUTTON & COMPANY INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jr Leatzow | Ralph R Leatzow Jr | Ralph Richard Leatzowjr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 22, 2003 - December 7, 2016

OBERWEIS SECURITIES, INC.

BD
CRD#: 42060
SARASOTA, FL
Past

September 8, 1997 - June 9, 2003

ROSENTHAL COLLINS SECURITIES, L.L.C

BD
CRD#: 41915
CHICAGO, IL
Past

June 18, 1996 - September 18, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 31, 1993 - June 17, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 15, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 28, 1978 - April 16, 1991

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 5, 1974 - May 17, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

March 23, 1973 - November 2, 1974

MCCORMICK & CO., INCORPORATED

BD
CRD#: 973
Past

December 27, 1965 - May 4, 1973

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/10/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/7/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 15
Date: 11/22/1982
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 5
Date: 11/13/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 3/20/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 12/22/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/2/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/24/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/26/1976
Registered Principal Examination

Current Firm

OS
OBERWEIS SECURITIES, INC.
OBERWEIS BROKERAGE, INC. | OS 2 BROKERAGE, INC. | OBERWEIS.NET, INC. | OBERWEIS.NET | OBERWEIS SECURITIES, INC.

CRD#: 42060 / SEC#: , 8-49679

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
3333 Warrenville Road Suite 500, Lisle, IL 60532
Mailing Address
3333 Warrenville Road Suite 500, Lisle, IL 60532
Phone number
(630) 577-2300
Established
Illinois since 09/24/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OBERWEIS, JAMES WALTERPRESIDENT, DIRECTOR2363059
OBERWEIS, JAMES DONALDSHAREHOLDER350272
HANNEMANN, ERIC VICARYCHIEF FINANCIAL OFFICER, TREASURER3264330
JOYCE, THOMAS PATRICKCHIEF COMPLIANCE OFFICER, SECRETARY5953683

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

OBERWEIS SECURITIES, INC.

CRD#: 42060

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